Government Shutdown Information

2024082788802 Meredith Webber CRD 2435263 Complaint lp (2025-1748132403206).pdf

The Department of Enforcement alleges: Respondent Meredith Webber failed to respond to requests for documents and information that FINRA made pursuant to FINRA Rule 8210 and failed to provide on-the-record (“OTR”) testimony that FINRA requested pursuant to FINRA Rule 8210 as part of FINRA’s investigation into whether Webber misappropriated funds from two elderly customers. As a result, Webber violated FINRA Rules 8210 and 2010.

2023077077001 Regulus Financial Group, LLC CRD 150631 AWC vr (2025-1748132403010).pdf

From May 22, 2021, to February 6, 2024, Regulus did not disclose its own and its control affiliate’s disciplinary history in the firm’s customer relationship summary (Form CRS). By filing and delivering to customers a Form CRS that omitted required information, Regulus willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-14, and violated FINRA Rule 2010 and is fined $20,000...

2021069373001 David Wong CRD 4689031 OHO Decision ks (2025-1748046000399).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID WONG (CRD No. 4689031), Respondent. Disciplinary Proceeding No. 2021069373001 Hearing Officer–MC HEARING PANEL DECISION April 21, 2025 Respondent David Wong is barred from associating with any FINRA member firm in any capacity for converting and misusing customer funds.

Information Notice - 4/24/25

Summary

Effective May 14, 2025, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $27.80 per million dollars in transactions to a new rate of $0.00 per million dollars in transactions.

Finance-related questions should be directed to Amanda Rath, Associate Director, Revenue Management, at (240) 386-6637 or email.

Legal and interpretive questions should be directed to:

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